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24 Jun 2016, 4:04 am
SR-FINRA-2015-057 /March 23, 2016). [read post]
25 Jul 2022, 4:10 am
2017 FINRA Offer of SettlementIn response to the filing of a Complaint on July 15, 2016, by the Financial Industry Regulatory Authority's ("FINRA's") Department of Enforcement, Respondent Robert Edward Loftus submitted an Offer of Settlement dated March 10, 2017, which the regulator accepted. [read post]
16 Jul 2021, 7:08 am
FINRA alleges that the firm's CCO/AMLCO came up short. [read post]
14 Aug 2018, 12:26 pm
Open Letter to the Financial Industry Regulatory Authority'sPresident and Chief Executive Officer Robert Cook, Chairman of the Board Bill Heyman, and Board of GovernorsOn August 14, 2018, the BrokeAndBroker.com Blog published "Breathtaking Dissent In Industry Arbitration Asks Court To Sanction FINRA" (BrokeAndBroker.com Blog) http://www.brokeandbroker.com/4133/finra-dissent-hasko/, which analyzed the intra-industry FINRA… [read post]
27 Nov 2021, 7:18 am
See a recent FINRA public customer Award for an example.Case In PointIn a FINRA Arbitration Statement of Claim filed in July 2019 and as amended, public customer Claimant Webb asserted conversi... [read post]
2 Jan 2024, 1:04 pm
A 2024 FINRA regulatory settlement asserts that FINRA only first discovered a member firm's violations in a 2021 cycle examination. [read post]
9 Oct 2009, 4:00 am
FINRA rules currently require a firm that has previously not filed advertisements with FINRA to file its initial advertisement with FINRA at least 10 business days prior to use, and continue the practice for one year after the initial filing. [read post]
4 Jul 2014, 5:20 am
The Financial Industry Regulatory Authority (FINRA) has sanctioned Polar Investment Counsel, Inc. [read post]
30 Jan 2015, 5:22 am
FINRA also found that Evangelista violated FINRA’s suitability rules by recommending ABC securities to customers. [read post]
8 May 2013, 9:45 pm
FINRA recently entered into a settlement with Gar Wood Securities LLC (the "AWC") concerning allegations that Gar Wood facilitated the sale of restricted securities in violation of the Section 5 of the 1933 Act, and the Firm failed to identify "suspicious" activity in a customer's account that should have warranted the filing of a Form SAR-SF. [read post]
9 Feb 2023, 11:21 am
Credit Suisse Securities (USA) LLC, FINRA No. 20-03957. [read post]
4 Nov 2013, 5:18 am
Hotton’s false statements to FINRA violated NASD Rules 8210 and 2110 and FINRA Rules 8210 and 2010. [read post]
30 Sep 2010, 2:03 pm
According to FINRA, "[g]iving each individual investor the option of an all-public panel will enhance confidence in and increase the perception of fairness in the FINRA arbitration process". [read post]
11 May 2016, 11:31 am
The firm represents investors throughout the country in FINRA arbitration claim against their brokerage firm. [read post]
9 Jul 2015, 3:48 am
You may have seen some of the recent television ads for the Financial Industry Regulatory Authority's ("FINRA") online disclosure website BrokerCheck.As noted on the self-regulatory organization's "About BrokerCheck" website page:BrokerCheck is a free tool from FINRA that can help you research the professional backgrounds of brokers and brokerage firms, as well as investment adviser firms and advisers. [read post]
4 Apr 2011, 9:38 pm
FINRA is one of the few arbitration forums mandating automatic production of “presumptively discoverable” documents and information in arbitrations brought by customers [...] [read post]
16 Nov 2017, 6:55 am
(FINRA Case #2012034936005) David Joseph Escarcega (CRD #4367584, Phoenix, Arizona) – A NAC (National Adjudicatory Council) Decision became final in which Escarcega was barred from association with any FINRA member in all capacities and ordered to disgorge $52,270, plus interest. [read post]
2 Dec 2010, 9:22 am
The recently released Regulatory Notice 10-59 provides the details, including the requirement that the data must be encrypted to a, industry standard level, which FINRA interprets to be a minimum 256 bit level. [read post]
17 May 2018, 12:45 pm
(FINRA Case #2015043939101) Lawrence John Fawcett Jr. [read post]
2 Sep 2016, 4:20 am
WHO IS A "CUSTOMER" FOR PURPOSES OF FINRA RULE 12200By Martin P. [read post]
